# Regal Oak Financial, LLC

> Regal Oak Financial, LLC is a state-registered investment advisory firm in Frankfort, IL, registered since 2016, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 283187
- Filed as: REGAL OAK FINANCIAL, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Frankfort, IL
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/283187
- AdvisorCensus page: https://advisorcensus.com/firm/regal-oak-financial-llc-frankfort-il-283187

## Quick answers

**How is Regal Oak Financial, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Regal Oak Financial, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Regal Oak Financial, LLC located?**
Regal Oak Financial, LLC's principal office is in Frankfort, IL, according to its Form ADV.

**Is Regal Oak Financial, LLC registered with the SEC or a state?**
Regal Oak Financial, LLC is a state-registered investment advisory firm, registered since 2016. Status as filed: APPROVED. CRD 283187.

**How much does Regal Oak Financial, LLC manage?**
Regal Oak Financial, LLC reports $61,421 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (0% discretionary).

**Does Regal Oak Financial, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/283187

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $61,421
- Discretionary: $0
- Non-discretionary: $61,421

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | Fewer than 5 | $0 |
| Charitable organizations | Fewer than 5 | $61,421 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Publication of periodicals or newsletters

### Firm details
- Registered since: 2016 (10 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: IL
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- regaloakfinancial.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Regal Oak Financial, LLC (CRD 283187): Form ADV filing data as of October 2026.